-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WA7iSnH1wnSTon0Oy7c8TX53R1ydKpeKcjv49Tj1XayNa7d9yk88a5QTNFJJu3Y9 NW687Wc5k4ZZiAUUrTfOJA== 0000891618-03-000944.txt : 20030218 0000891618-03-000944.hdr.sgml : 20030217 20030218134642 ACCESSION NUMBER: 0000891618-03-000944 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030109 FILED AS OF DATE: 20030218 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BROCADE COMMUNICATIONS SYSTEMS INC CENTRAL INDEX KEY: 0001009626 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 770409517 STATE OF INCORPORATION: DE FISCAL YEAR END: 1028 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25601 FILM NUMBER: 03570748 BUSINESS ADDRESS: STREET 1: 1901 GUADALUPE PARKWAY STREET 2: SUITE E CITY: SAN JOSE STATE: CA ZIP: 95131 MAIL ADDRESS: STREET 1: 1901 GUADALUPE PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95131 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: CUTHBERT JACK CENTRAL INDEX KEY: 0001190830 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1745 TECHNOLOGY DRIVE CITY: SAN JOSE STATE: CA ZIP: 95110 BUSINESS PHONE: 4084878150 MAIL ADDRESS: STREET 1: 1745 TECHNOLOGY DRIVE CITY: SAN JOSE STATE: CA ZIP: 95110 4 1 f87820jce4.htm FORM 4 Jack Cuthbert, Form 4
 

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

FORM 4

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935
or Section 30(h) of the Investment Company Act of 1940

o Check this box if no longer
subject to Section 16.
Form 4 or Form 5
obligations may continue.
See Instruction 1(b)
1. Name and Address of Reporting
Person* (Last, First, Middle)		 2. Issuer Name and Ticker or
Trading Symbol		 3. I.R.S. Identification Number of Reporting
Person, if an entity (Voluntary)
  Cuthbert, Jack
  Brocade Communications Systems, Inc.
 
  1745 Technology Drive
4. Statement for (Month/Day/Year) 5. If Amendment, Date of Original (Month/Day/Year)
    01/09/2003
 
  (Street) 6. Relationship of Reporting Person(s) to Issuer (Check All Applicable) 7. Individual or Joint/Group Filing
(Check Applicable Line)
  San Jose, CA 95110
(City)                (State)           (Zip)		   o  Director o  10% Owner   x Form filed by One Reporting Person
    x  Officer (give title below)   o Form filed by More than One Reporting Person
    o  Other (specify below)  
        VP OEM Sales
     
Reminder:   Report on a separate line for each class of securities beneficially owned directly or indirectly.
 
*   If the form is filed by more than one reporting person, see instruction 4(b)(v).
 

 

 
Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security
(Instr. 3)		 2. Transaction Date
(Month/Day/Year)		 2a. Deemed Execution
Date, if any.
(Month/Day/Year)		 3. Transaction Code
(Instr. 8)		 4. Securities Acquired (A)
or Disposed of (D)
(Instr. 3, 4 and 5)		 5. Amount of Securities
Beneficially Owned
Following Reported
Transactions(s)
(Instr. 3 and 4)		 6. Ownership
Form:
Direct (D) or
Indirect (I)
(Instr. 4)		 7. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)
              Code V   Amount (A)
or
(D)		 Price            
                   
                     
                     
                     
                     
                     
                     
                   
                   
                   

Page 2

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
  (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative
Security
(Instr. 3)		 2. Conversion or Exercise
Price of Derivative
Security		 3. Transaction
Date
(Month/Day/Year)		 3a. Deemed Execution
Date, if any
(Month/Day/Year)		 4. Transaction
Code
(Instr. 8)		 5. Number of Derivative Securities
Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
                      Code V   (A) (D)
  Non-qualified Stock Option (right to buy)   $20.2344     01/09/2003     D (1)   D
  Non-qualified Stock Option (right to buy)   $32.13     01/09/2003     D (1)   D
  Non-qualified Stock Option (right to buy)   $40.50     01/09/2003     D (1)   D
  Non-qualified Stock Option (right to buy)   $76.88     01/09/2003     D (1)   D
  Non-qualified Stock Option (right to buy)   $20.70     01/09/2003     D (1)   D
  Non-qualified Stock Option (right to buy)   $20.70     01/09/2003     D (1)   D
  Non-qualified Stock Option (right to buy)   $20.70     01/09/2003     D (1)   D
  Non-qualified Stock Option (right to buy)   $12.90     01/09/2003     D (1)   D
             
             

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Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned — Continued
(e.g., puts, calls, warrants, options, convertible securities)
6. Date Exercisable and
Expiration Date
(Month/Day/Year)		 7. Title and Amount
of Underlying Securities
(Instr. 3 and 4)		 8. Price of Derivative
Security
(Instr. 5)		 9. Number of Derivative
Securities Beneficially Owned
Following Reported Transaction(s)
(Instr. 4)		 10. Ownership Form of
Derivative Security:
Direct (D) or Indirect (I)
(Instr. 4)		 11. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)
  Date
Exercisable		 Expiration
Date		   Title Amount or
Number of
Shares		                        
  08/18/2009   Common Stock 256,000         0     D  
  11/19/2009   Common Stock 143,328         0     D  
  01/31/2010   Common Stock 316,668         0     D  
  11/29/2010   Common Stock 542,000         0     D  
  04/17/2011   Common Stock 20,988         0     D  
  04/17/2011   Common Stock 46,125         0     D  
  04/17/2011   Common Stock 337,489         0     D  
  10/01/2011   Common Stock 155,625         0     D  
                 
                 

Explanation of Responses:

(1) Cancellation of Non-qualified Stock Options in accordance with a voluntary stock option exchange program offered to all employees.

/s/ Robert D. Bossi   February 18, 2003
**Signature of Reporting Person
By: Robert D. Bossi
For: Jack Cuthbert		  
Date

**   Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
 
Note:   File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
 

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